Maria Giovanna Lupu

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-05-31
TX	RA	APPROVED	2023-05-26

CA RA
APPROVED

Since 2023-05-31
TX RA
APPROVED

Since 2023-05-26

Branch Locations

100 Wilshire Boulevard Suite 1900, Santa Monica, CA 90401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets , Llc	Beverly Hills	CA	09/2008	05/2023
City National Bank	Beverly Hills	CA	03/2017	05/2023
Morgan Stanley Smith Barney Llc	Santa Monica	CA	05/2023	Present
Morgan Stanley Private Bank, N.A	New York	NY	07/2023	Present

09/2008 → 05/2023

Rbc Capital Markets , Llc

Beverly Hills, CA
03/2017 → 05/2023

City National Bank

Beverly Hills, CA
05/2023 → Present

Morgan Stanley Smith Barney Llc

Santa Monica, CA
07/2023 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2008-09-16 → 2023-06-07

Rbc Capital Markets, Llc

Beverly Hills, CA
2008-01-01 → 2008-09-16

Wells Fargo Clearing Services, Llc

Beverly Hills, CA
2003-07-03 → 2008-01-01

A. G. Edwards & Sons, Inc.

Beverly Hills, CA

Beverly Hills, CA

St. Louis, MO
2001-05-15 → 2003-07-22

Wells Fargo Investments, Llc

Los Angeles, CA

Other Businesses

*626138- Condo; Investment related: Yes; Santa Monica, California; Rental Property ; landlord (proprietor, partner, officer, director, employee, trustee, agent); 02/2025; During business hours: 0; After business hours: 0; condo rental, collect rent

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-08-24

S66 Uniform Combined State Law Examination

2000-08-24

View on SEC IAPD